Form SD - Specialized disclosure report

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Form SD

 

Specialized Disclosure Report

 

Peraso Inc.

(Exact name of registrant as specified in its charter)

 

000-32929

(Commission File Number)

 

Delaware		77-0291941
(State or other jurisdiction of incorporation)		(I.R.S. Employer Identification No.)

 

2309 Bering Drive

San Jose, California 95131

(Address of principal executive offices, with zip code)

 

James Sullivan

Chief Financial Officer

[phone]

(Name and telephone number, including area code, of the person to contact

in connection with this report.)

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

☒ Rule 13p-1 under the Securities Act (17 CFR 240.13p-1) for the reporting period from January 1, 2023 to December 31, 2023.

 

 

 

 

 

 

Section 1 — Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

Conflict Minerals Disclosure

 

This Form SD and a copy of the Conflict Minerals Report for Peraso Inc. (the “Company”), filed as an exhibit hereto, are available on the Company’s website at www.perasoinc.com, under the heading “Corporate Governance.”

 

The Company’s conflict minerals disclosure and the description of its due diligence framework are included in its Conflict Minerals Report and incorporated by reference herein.

 

Item 1.02 Exhibit

 

The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.

 

Section 2 — Exhibits

 

Item 2.01 Exhibits

 

Exhibit 1.01 –

Conflict Minerals Report of Peraso Inc. for the year ended December 31, 2023.

 

1

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

Date: May 30, 2024	PERASO INC.
	By:	/s/ James Sullivan
		James Sullivan
		Chief Financial Officer

 

 

2

 

Exhibit 1.01

 

Peraso Inc.

Conflict Minerals Report

For the year ended December 31, 2023

 

This Conflict Minerals Report of Peraso Inc. (“Peraso” or the “Company”) for the reporting period January 1, 2023 to December 31, 2023 is provided in accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”). Rule 13p-1 was adopted by the Securities and Exchange Commission to implement reporting and disclosure requirements related to Conflict Minerals, as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Conflict Minerals are defined as columbite-tantalite (coltan), cassiterite, gold and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten (collectively, “3TG”), that originate in the Democratic Republic of the Congo or an adjoining country (collectively, the “Covered Countries”).

 

The Company is a fabless semiconductor company specializing in the development of millimeter wave, which is generally described as the frequency band from 24 Gigahertz (“GHz”) to 300GHz, wireless technology. The Company also manufactures and sells high-performance memory semiconductor devices for a wide range of markets and receives royalties from licensees of its memory technology. The Company derives revenue from selling its semiconductor devices and antenna modules, performance of non-recurring engineering services and licensing of its technologies. As a fabless semiconductor company, Peraso does not purchase directly from smelters or refineries and must rely upon its manufacturing subcontractors to: (i) identify whether 3TG minerals are used in the manufacture of Peraso’s products, (ii) identify the sources of 3TG used in the manufacture of Peraso products, and (iii) declare whether any of the 3TG minerals used is a Conflict Mineral. Peraso has determined that at least one or more of the 3TG is necessary to produce one or more Peraso integrated circuit products. In particular, the Company believes some material used by its foundry to produce the silicon wafers for one or more of the Company’s products contains at least one of the 3TG.

 

The Company has conducted a good faith reasonable country of origin inquiry regarding the 3TG contained in its products, which inquiry was designed to determine (a) whether any of the 3TG contained in its products originated in the Covered Countries and (b) whether any of the 3TG are from recycled or scrap sources. The Company also exercised due diligence on the chain of custody and source of the 3TG.

 

Peraso’s due diligence measures were based on the Electronic Industry Citizenship Coalition and Global e-Sustainability (“EICC/GeSI”) initiative with the smelters and refiners of Conflict Minerals that provide 3TG to the Company’s suppliers. Peraso’s due diligence measures were comprised of:

 

●

conducting a supply-chain survey with direct suppliers of materials containing 3TG using the standard Conflict Minerals Reporting Template designed by the Responsible Minerals Initiative (“RMI”), which is an initiative of the EICC/GeSi, to identify the smelters and refiners;

 

●

comparing the smelters and refiners identified in the supply-chain survey against the list of smelter facilities which have been identified as “conflict-free” by programs such as the EICC/GeSI Conflict Free Smelter (“CFS”) program for 3TG; and

 

●

reviewing direct suppliers’ conflict minerals policies to ensure that they are encouraging their suppliers to not source from refiners, smelters and other suppliers that may use 3TG originating from the Covered Countries.

 

Because some of the information provided by Peraso suppliers is incomplete and not all smelters have been identified under the CFS program as conflict-free, Peraso is unable to determine if its products are entirely conflict-free; however, the Company does not have any information indicating that any of the 3TG used by Peraso’s manufacturing subcontractors originate from the Covered Countries.

 

 

 

 

Based on the information provided by the Company’s suppliers and obtained through the due diligence process, set forth below is a list of CFS program-certified conflict-free facilities identified by the Company’s supply chain:

 

Mineral		Smelter or Refiner Facility Name		Smelter ID		Country
Gold		8853 S.p.A.		CID002763		Italy
Gold		Advanced Chemical Company		CID000015		USA
Gold		Agosi AG		CID000035		Germany
Gold		Aida Chemical Industries Co., Ltd.		CID000019		Japan
Gold		Al Etihad Gold Refinery DMCC		CID002560		United Arab Emirates
Gold		Almalyk Mining and Metallurgical Complex (AMMC)		CID000041		Uzbekistan
Gold		AngloGold Ashanti Corrego do Sitio Mineracao		CID000058		Brazil
Gold		Argor-Heraeus S.A.		CID000077		Switzerland
Gold		Asahi Pretec Corp.		CID000082		Japan
Gold		Asahi Refining Canada Ltd.		CID000924		Canada
Gold		Asahi Refining USA Inc.		CID000920		USA
Gold		Asaka Riken Co., Ltd.		CID000090		Japan
Gold		Aurubis AG		CID000113		Germany
Gold		Bangalore Refinery		CID002863		India
Gold		Bangko Sentral ng Pilipinas (Central Bank of the Philippines)		CID000128		Philippines
Gold		Boliden AB		CID000157		Sweden
Gold		C. Hafner GmbH + Co. KG		CID000176		Germany
Gold		CCR Refinery - Glencore Canada Corporation		CID000185		Canada
Gold		Cendres + Metaux S.A.		CID000189		Switzerland
Gold		Chimet S.p.A.		CID000233		Italy
Gold		Chugai Mining		CID000264		Japan
Gold		Dowa		CID000401		Japan
Gold		DSC (Do Sung Corporation)		CID000359		Korea, Republic of
Gold		Eco-System Recycling Co., Ltd. East Plant		CID000425		Japan
Gold		Eco-System Recycling Co., Ltd. North Plant		CID003424		Japan
Gold		Eco-System Recycling Co., Ltd. West Plant		CID003425		Japan
Gold		Emirates Gold DMCC		CID002561		United Arab Emirates
Gold		Geib Refining Corporation		CID002459		USA
Gold		Gold Refinery of Zijin Mining Group Co., Ltd.		CID002243		China
Gold		Heimerle + Meule GmbH		CID000694		Germany
Gold		Heraeus Metals Hong Kong Ltd.		CID000707		China
Gold		Heraeus Germany GmbH & Co. KG		CID000711		Germany
Gold		Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.		CID000801		China
Gold		Ishifuku Metal Industry Co., Ltd.		CID000807		Japan
Gold		Istanbul Gold Refinery		CID000814		Turkey
Gold		Italpreziosi		CID002765		Italy
Gold		Japan Mint		CID000823		Japan
Gold		Jiangxi Copper Co., Ltd.		CID000855		China
Gold		JX Nippon Mining & Metals Co., Ltd.		CID000937		Japan
Gold		Kazzinc		CID000957		Kazakhstan
Gold		Kennecott Utah Copper LLC		CID000969		USA
Gold		KGHM Polska Miedz Spolka Akcyjna		CID002511		Poland
Gold		Kojima Chemicals Co., Ltd.		CID000981		Japan
Gold		Korea Zinc Co., Ltd.		CID002605		Korea, Republic of
Gold		L'Orfebre S.A.		CID002762		Andorra
Gold		LS-NIKKO Copper Inc.		CID001078		Korea, Republic of
Gold		LT Metal Ltd.		CID000689		Korea, Republic of
Gold		Materion		CID001113		USA
Gold		Matsuda Sangyo Co., Ltd.		CID001119		Japan
Gold		Metal Concentrators SA (Pty) Ltd.		CID003575		South Africa
Gold		Metalor Technologies (Hong Kong) Ltd.		CID001149		China
Gold		Metalor Technologies (Singapore) Pte., Ltd.		CID001152		Singapore
Gold		Metalor Technologies (Suzhou) Ltd.		CID001147		China
Gold		Metalor Technologies S.A.		CID001153		Switzerland
Gold		Metalor USA Refining Corporation		CID001157		USA
Gold		Metalurgica Met-Mex Penoles S.A. De C.V.		CID001161		Mexico
Gold		Mitsubishi Materials Corporation		CID001188		Japan
Gold		Mitsui Mining and Smelting Co., Ltd.		CID001193		Japan

 

2

 

 

Gold		MKS PAMP SA		CID001352		Switzerland
Gold		MMTC-PAMP India Pvt., Ltd.		CID002509		India
Gold		Nadir Metal Rafineri San. Ve Tic. A.S.		CID001220		Turkey
Gold		Navoi Mining and Metallurgical Combinat		CID001236		Uzbekistan
Gold		NH Recytech Company		CID003189		Korea, Republic of
Gold		Nihon Material Co., Ltd.		CID001259		Japan
Gold		Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH		CID002779		Austria
Gold		Ohura Precious Metal Industry Co., Ltd.		CID001325		Japan
Gold		PAMP S.A.		CID001352		Switzerland
Gold		Planta Recuperadora de Metales SpA		CID002919		Chile
Gold		PT Aneka Tambang (Persero) Tbk		CID001397		Indonesia
Gold		PX Precinox S.A.		CID001498		Switzerland
Gold		Rand Refinery (Pty) Ltd.		CID001512		South Africa
Gold		REMONDIS PMR B.V.		CID002582		Netherlands
Gold		Royal Canadian Mint		CID001534		Canada
Gold		SAAMP		CID002761		France
Gold		Safimet S.p.A		CID002973		Italy
Gold		SAFINA A.S.		CID002290		Czechia
Gold		Samduck Precious Metals		CID001555		Korea, Republic of
Gold		SEMPSA Joyeria Plateria S.A.		CID001585		Spain
Gold		Shandong Gold Smelting Co., Ltd.		CID001916		China
Gold		Shandong Zhaojin Gold & Silver Refinery Co., Ltd.		CID001622		China
Gold		Sichuan Tianze Precious Metals Co., Ltd.		CID001736		China
Gold		Singway Technology Co., Ltd.		CID002516		Taiwan, Province of China
Gold		Solar Applied Materials Technology Corp.		CID001761		Taiwan, Province of China
Gold		Sumitomo Metal Mining Co., Ltd.		CID001798		Japan
Gold		SungEel HiMetal Co., Ltd.		CID002918		Korea, Republic of
Gold		T.C.A S.p.A		CID002580		Italy
Gold		Tanaka Kikinzoku Kogyo K.K.		CID001875		Japan
Gold		Tokuriki Honten Co., Ltd.		CID001938		Japan
Gold		TOO Tau-Ken-Altyn		CID002615		Kazakhstan
Gold		Torecom		CID001955		Korea, Republic of
Gold		Umicore Precious Metals Thailand		CID002314		Thailand
Gold		Umicore S.A. Business Unit Precious Metals Refining		CID001980		Belgium
Gold		United Precious Metal Refining, Inc.		CID001993		USA
Gold		Valcambi S.A.		CID002003		Switzerland
Gold		Western Australian Mint (T/a The Perth Mint)		CID002030		Australia
Gold		WIELAND Edelmetalle GmbH		CID002778		Germany
Gold		Yamakin Co., Ltd.		CID002100		Japan
Gold		Yokohama Metal Co., Ltd.		CID002129		Japan
Gold		Zhongyuan Gold Smelter of Zhongjin Gold Corporation		CID002224		China
Tantalum		AMG Brasil		CID001076		Brazil
Tantalum		Changsha South Tantalum Niobium Co., Ltd.		CID000211		China
Tantalum		D Block Metals, LLC		CID002504		USA
Tantalum		F&X Electro-Materials Ltd.		CID000460		China
Tantalum		FIR Metals & Resource Ltd.		CID002505		China
Tantalum		Global Advanced Metals Aizu		CID002558		Japan
Tantalum		Global Advanced Metals Boyertown		CID002557		USA
Tantalum		H.C. Starck Hermsdorf GmbH		CID002547		Germany
Tantalum		H.C. Starck Inc.		CID002548		USA
Tantalum		Hengyang King Xing Lifeng New Materials Co., Ltd.		CID002492		China
Tantalum		Jiangxi Dinghai Tantalum & Niobium Co., Ltd.		CID002512		China
Tantalum		Jiangxi Tuohong New Raw Material		CID002842		China
Tantalum		JiuJiang JinXin Nonferrous Metals Co., Ltd.		CID000914		China
Tantalum		Jiujiang Tanbre Co., Ltd.		CID000917		China
Tantalum		Jiujiang Zhongao Tantalum & Niobium Co., Ltd.		CID002506		China
Tantalum		KEMET de Mexico		CID002539		Mexico
Tantalum		Materion Newton Inc.		CID001113		USA
Tantalum		Metallurgical Products India Pvt., Ltd.		CID001163		India
Tantalum		Mineracao Taboca S.A.		CID001175		Brazil
Tantalum		Mitsui Mining and Smelting Co., Ltd.		CID001192		Japan

 

3

 

 

Tantalum		Ningxia Orient Tantalum Industry Co., Ltd.		CID001277		China
Tantalum		NPM Silmet AS		CID001200		Estonia
Tantalum		QuantumClean		CID001508		USA
Tantalum		Resind Industria e Comercio Ltda.		CID002707		Brazil
Tantalum		RFH Yancheng Jinye New Material Technology Co., Ltd.		CID003583		China
Tantalum		Taki Chemical Co., Ltd		CID001869		Japan
Tantalum		TANIOBIS Co., Ltd		CID002544		Thailand
Tantalum		TANIOBIS Smelting GmbH & Co. KG		CID002550		Germany
Tantalum		TANIOBIS GmbH		CID002545		Germany
Tantalum		TANIOBIS Japan Co., Ltd		CID002549		Japan
Tantalum		Telex Metals		CID001891		USA
Tantalum		Ulba Metallurgical Plant JSC		CID001969		Kazakhstan
Tantalum		Ximei Resources (Guangdong) Limited		CID000616		China
Tantalum		XinXing HaoRong Electronic Material Co., Ltd.		CID002508		China
Tantalum		Yanling Jincheng Tantalum & Niobium Co., Ltd.		CID001522		China
Tin		Alpha		CID000292		USA
Tin		Aurubis Beerse		CID002773		Belgium
Tin		Aurubis Berango		CID002774		Spain
Tin		Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.		CID000228		China
Tin		Chifeng Dajingzi Tin Industry Co., Ltd		CID003190		China
Tin		China Tin Group Co., Ltd.		CID001070		China
Tin		CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda		CID003486		Brazil
Tin		CRM Synergies		CID003524		Spain
Tin		CV Ayi Jaya		CID002570		Indonesia
Tin		CV Venus Inti Perkasa		CID002455		Indonesia
Tin		Dowa		CID000402		Japan
Tin		DS Myanmar		CID003831		Myanmar
Tin		EM Vinto		CID000438		Bolivia (Plurinational State of)
Tin		Estanho de Rondonia S.A.		CID000448		Brazil
Tin		Fabrica Auricchio Industria e Comercio Ltda.		CID003582		Brazil
Tin		Fenix Metals		CID000468		Poland
Tin		Gejiu Non-Ferrous Metal Processing Co., Ltd.		CID000538		China
Tin		Gejiu Zili Mining and Metallurgy Co., Ltd.		CID000555		China
Tin		Guangdong Hanhe Non-Ferrous Metal Co., Ltd.		CID003116		China
Tin		HuiChang Hill Tin Industry Co., Ltd.		CID002844		China
Tin		Jiangxi New Nanshan Technology Ltd.		CID001231		China
Tin		Luna Smelter, Ltd.		CID003387		Rwanda
Tin		Ma’anshan Weitai Tin Co., Ltd.		CID003379		Viet Nam
Tin		Magnu’s Minerais Metais e Ligas Ltda.		CID002468		Brazil
Tin		Malaysia Smelting Corporation (MSC)		CID001105		Malaysia
Tin		Metallic Resources, Inc.		CID001142		USA
Tin		Metallo Belgium N.V.		CID002773		Belgium
Tin		Metallo Spain S.L.U.		CID002774		Spain
Tin		Mineracao Taboca S.A.		CID001173		Brazil
Tin		Minsur		CID001182		Peru
Tin		Mitsubishi Materials Corporation		CID001191		Japan
Tin		O.M. Manufacturing (Thailand) Co., Ltd.		CID001314		Thailand
Tin		O.M. Manufacturing Philippines, Inc.		CID002517		Philippines
Tin		Operaciones Metalurgicas S.A.		CID001337		Bolivia (Plurinational State of)
Tin		PT Aries Kencana Sejahtera		CID000309		Indonesia
Tin		PT Artha Cipta Langgeng		CID001399		Indonesia
Tin		PT ATD Makmur Mandiri Jaya		CID002503		Indonesia
Tin		PT Babel Inti Perkasa		CID001402		Indonesia
Tin		PT Babel Surya Alam Lestari		CID001406		Indonesia
Tin		PT Bangka Serumpun		CID003205		Indonesia
Tin		PT Bukit Timah		CID001428		Indonesia
Tin		PT Cipta Persada Mulia		CID002696		Indonesia
Tin		PT Menara Cipta Mulia		CID002835		Indonesia
Tin		PT Mitra Stania Prima		CID001453		Indonesia
Tin		PT Mitra Sukses Globalindo		CID003449		Indonesia
Tin		PT Prima Timah Utama		CID001458		Indonesia
Tin		PT Putera Sarana Shakti (PT PSS)		CID003868		Indonesia

 

4

 

 

Tin		PT Rajawali Rimba Perkasa		CID003381		Indonesia
Tin		PT Rajehan Ariq		CID002593		Indonesia
Tin		PT Refined Bangka Tin		CID001460		Indonesia
Tin		PT Sariwiguna Binasentosa		CID001463		Indonesia
Tin		PT Stanindo Inti Perkasa		CID001468		Indonesia
Tin		PT Sukses Inti Makmur		CID002816		Indonesia
Tin		PT Timah Nusantara		CID001486		Indonesia
Tin		PT Timah Tbk Kundur		CID001477		Indonesia
Tin		PT Timah Tbk Mentok		CID001482		Indonesia
Tin		PT Tinindo Inter Nusa		CID001490		Indonesia
Tin		PT Tommy Utama		CID001493		Indonesia
Tin		Resind Industria e Comercio Ltda.		CID002706		Brazil
Tin		Rui Da Hung		CID001539		Taiwan, Province of China
Tin		Thai Nguyen Mining and Metallurgy Co., Ltd.		CID002834		Viet Nam
Tin		Thaisarco		CID001898		Thailand
Tin		Tin Smelting Branch of Yunnan Tin Co., Ltd.		CID002180		China
Tin		Tin Technology & Refining		CID003325		USA
Tin		White Solder Metalurgia e Mineracao Ltda.		CID002036		Brazil
Tin		Yunnan Chengfeng Non-ferrous Metals Co., Ltd.		CID002158		China
Tungsten		A.L.M.T.  Corp.		CID000004		Japan
Tungsten		ACL Metais Eireli		CID002833		Brazil
Tungsten		Asia Tungsten Products Vietnam Ltd.		CID002502		Viet Nam
Tungsten		Chenzhou Diamond Tungsten Products Co., Ltd.		CID002513		China
Tungsten		China Molybdenum Tungsten Co., Ltd.		CID002641		China
Tungsten		Chongyi Zhangyuan Tungsten Co., Ltd.		CID000258		China
Tungsten		Cronimet Brasil Ltda		CID003468		Brazil
Tungsten		Fujian Ganmin RareMetal Co., Ltd.		CID003401		China
Tungsten		Fujian Xinlu Tungsten		CID003609		China
Tungsten		Ganzhou Haichuang Tungsten Co. Ltd		CID002645		China
Tungsten		Ganzhou Huaxing Tungsten Products Co., Ltd.		CID000875		China
Tungsten		Ganzhou Jiangwu Ferrotungsten Co., Ltd.		CID002315		China
Tungsten		Ganzhou Seadragon W & Mo Co., Ltd.		CID002494		China
Tungsten		Global Tungsten & Powders Corp.		CID000568		USA
Tungsten		Guangdong Xianglu Tungsten Co., Ltd.		CID000218		China
Tungsten		H.C. Starck Tungsten GmbH		CID002541		Germany
Tungsten		Hubei Green Tungsten Co., Ltd.		CID003417		Germany
Tungsten		Hunan Chenzhou Mining Co., Ltd.		CID000766		China
Tungsten		Hunan Chunchang Nonferrous Metals Co., Ltd.		CID000769		China
Tungsten		Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch		CID002513		China
Tungsten		Japan New Metals Co., Ltd.		CID000825		Japan
Tungsten		Jiangwu H.C. Starck Tungsten Products Co., Ltd.		CID002551		China
Tungsten		Jiangxi Gan Bei Tungsten Co., Ltd.		CID002321		China
Tungsten		Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.		CID002318		China
Tungsten		Jiangxi Xinsheng Tungsten Industry Co., Ltd.		CID002317		China
Tungsten		Jiangxi Yaosheng Tungsten Co., Ltd.		CID002316		China
Tungsten		Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd.		CID003417		China
Tungsten		Kennametal Fallon		CID000966		USA
Tungsten		Kennametal Huntsville		CID000105		USA
Tungsten		Lianyou Metals Co., Ltd.		CID003407		Taiwan, Province of China
Tungsten		Malipo Haiyu Tungsten Co., Ltd.		CID002319		China
Tungsten		Masan High-Tech Materials		CID002543		Viet Nam
Tungsten		Niagara Refining LLC		CID002589		USA
Tungsten		Philippine Chuangxin Industrial Co., Inc.		CID002827		Philippines
Tungsten		TANIOBIS Smelting GmbH & Co. KG		CID002542		Germany
Tungsten		Wolfram Bergbau und Hutten AG		CID002044		Austria
Tungsten		Xiamen Tungsten (H.C.) Co., Ltd.		CID002320		China
Tungsten		Xiamen Tungsten Co., Ltd.		CID002082		China
Tungsten		Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.		CID002830		China

 

The Company has communicated its expectations, as reflected in its Conflict Minerals Policy, to its manufacturing subcontractors and other suppliers. The Company continues to engage with its suppliers to update their information on the source and chain of custody of conflict minerals in Peraso’s supply chain and to require that all smelters utilized agree to participate in the RMI or equivalent program.

 

 

5

 

 

 

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